Compliance Analyst (Regulatory)

APEX Fintech Services•Dallas, TX

1d•Hybrid

About The Position

The Compliance Analyst (Regulatory) is an essential role within our Compliance Program, designed for a recent law graduate or newly licensed attorney eager to apply legal training in a dynamic regulatory environment. You will interact directly with regulators (including FINRA, the SEC, the CFTC and NFA), outside counsel, and partner with business stakeholders to document, track, and submit required information accurately and on time. The position offers a pathway to develop deep expertise in the financial services regulatory landscape while contributing to the firm’s compliance posture and operational resiliency. Success in this role requires ownership, analytical rigor, and clear communication to help the company meet its regulatory obligations and strategic objectives.

Requirements

Juris Doctor (JD) from an accredited law school.
Bar admission in any U.S. jurisdiction (active), or candidates who have recently taken or are scheduled to take a state bar examination are encouraged to apply.
Excellent written and verbal communication skills, with the ability to translate complex legal and regulatory concepts into clear regulatory responses and practical guidance.
Strong analytical, research, and issue-spotting abilities; comfort interpreting statutes, rules, and policy documents.
Exceptional organization and attention to detail, with the ability to manage multiple priorities and meet deadlines under pressure.
Proactive, collaborative, and accountable, with sound judgment and a commitment to ethical standards.

Nice To Haves

3+ years of experience in the compliance functions of a broker-dealer preferred.
FINRA SIE and Series 7 preferred (or willingness to obtain).

Responsibilities

Draft well-structured narrative responses and compile data to address regulatory inquiries and information requests within established deadlines.
Analyze, summarize, and communicate new or revised rules, guidance, and enforcement trends to internal stakeholders.
Support regulatory examinations by gathering, organizing, and validating requested information; maintain trackers and audit trails for submissions.
Review and interpret legal, policy, and business documents to assess compliance with applicable regulations and firm standards.
Maintain a regulatory calendar and document repository; strengthen processes, controls, and documentation standards.
Assist with special projects to enhance the Compliance Program, including process improvements, WSP development, and cross-functional initiatives.